General Publications March 11, 2024

Finance: New SEC Rule 192: Prohibition Against Conflicts of Interest in Certain Securitizations

Our Finance Group summarizes the Securities and Exchange Commission’s finalized Rule 192 that prohibits conflicts of interest among participants in asset-backed securitizations.

  • The Dodd–Frank Act prohibits conflicts of interest, but the response to SEC’s original 2011 rules was so negative the SEC tabled them
  • The new final rule addressed several industry recommendations and concerns
  • The rule became effective February 5, 2024, and compliance is required beginning June 9, 2025
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Alex Wolfe
Communications Director

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